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Results: 1-10 of 17

FXDirectDealer fined US $500,000 by NFA for AML violations and failure to supervise

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 14 2014

FXDirectDealer LLC and Joseph Botkier, its chief executive officer, agreed to settle an administrative complaint brought by the National Futures

Futures trader charged with stealing proprietary trading code from former trading firm

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 7 2014

David Newman was indicted by a federal grand jury in Chicago for stealing trading strategy computer code from an unnamed Chicago-based high-speed

Deutsche Bank sanctioned almost US $200,000 by ICE Futures U.S. for one-time speculative limit violation; CME Group fines three firms for documentation issues related to EFRPs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 30 2014

Deutsche Bank AG was fined US $20,000 and required to disgorge profits of almost US $175,000 related to a single instance of violating position

Goldman Sachs receives SEC approval for new approach to satisfy certain Reg SHO obligations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 2 2014

Goldman Sachs Execution & Clearing, LP requested and obtained relief from the Securities and Exchange Commission related to certain of its close-out

CFTC seeks to bar admitted embezzler and his company from registration after he allegedly fails to disclose crimes on his registration application

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 5 2014

The Commodity Futures Trading Commission commenced an action to permanently disqualify Zero Chaos Advisors, LLC and Ronald Fisher from registration

CFTC sues trader for fraud and unauthorized swap trades

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 28 2014

Gregory Evans, a former employee of an unnamed futures commission merchant and provisionally registered swap dealer, was sued by the Commodity

Introducing broker sued by CFTC for failing to follow AML procedures

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 14 2014

The Commodity Futures Trading Commission filed and settled an administrative action against Zulutrade, Inc., a Greece-based registered introducing

CFTC sues lawyer in federal court for aiding and abetting clients’ legal violations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 14 2014

Jay Grossman, a Florida-based attorney, was sued by the Commodity Futures Trading Commission in a federal court in Florida for allegedly aiding and

NFA notifies members of FinCEN advisory

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 20 2013

The National Futures Association has notified member futures commission merchants (FCMs) and introducing brokers (IBs) that the Financial Crimes

NFA reminds members of BSA electronic filing requirements

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 8 2012

On June 5, the National Futures Association issued a notice reminding members that, beginning July 1, all Bank Secrecy Act (BSA) reports must be filed electronically